Overview
The SEC established Regulation Best Interest (Reg BI) to set a “best interest” standard for broker-dealers and associated persons. It also introduced Form CRS, requiring broker-dealers and investment advisers to provide a brief relationship summary to retail investors. This course covers the four primary obligations of broker-dealers and associated persons when recommending securities transactions or investment strategies to retail customers.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- Describe the nature and scope of Regulation Best Interest
- Describe the requirements of the Disclosure Obligation prior to recommendations
- Describe the diligence required to meet the requirements of the Care Obligation
- Identify the firm policies and procedures required to meet the Conflict of Interest Obligation
- Identify the firm policies and procedures required to meet the Compliance Obligation
- Describe the record-making and recordkeeping requirements of Regulation Best Interest
Designed For:
Course Information
Adding additional credit may change exam requirements.
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S1-31 - Framework